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Be sure to have all Session 1 materials ready before the session starts. You’ll find the link to the materials in your Invitation or Reminder Email.

This program is part of the

INTERGOVERNMENTAL PREPAREDNESS FOR ESSENTIAL RECORDS (IPER)

program developed by the

COUNCIL OF STATE ARCHIVISTS (CoSA)

in cooperation with the

NATIONAL ARCHIVES & RECORDS ADMINISTRATION (NARA)

and sponsored by the

FEDERAL EMERGENCY MANAGEMENT AGENCY (FEMA)

This program was supported by Cooperative Agreement Number 2007-GT-T7-K022, administered by the U.S. Department of Homeland

Security, Federal Emergency Management Agency, National Preparedness Directorate. Points of view or opinions in this program are those of the author(s) and do not represent the position or policies of the

U.S. Department of Homeland Security.

Slide 1-4

Webinar Etiquette

• Be prepared.

• “Arrive” early.

• Mute your phone.

• Do not put your phone on hold.

• Participate.

• Raise your hand to ask a question.

• Identify yourself when speaking.

Slide 1-5

This is…

The IPER Project

This course,

Records Emergency Planning and Response Webinar,

is part of

Slide 1-6

Slide 1-7

Photo Courtesy of CoSA: Contra County courthouse fire

• IPER’s purpose:– To train state,

territorial, tribal, and local governments

– To give you the knowledge and skills needed to secure your essential records and recover records damaged by natural or human-caused emergencies

• IPER supports a fundamental component of Continuity of Operations (COOP):– Ensuring that state and local

governments can access and use records needed to restore essential services

Slide 1-8

Courtesy of NARA—Hurricane Katrina—Orleans Parish—2005

Slide 1-9

• Target audience:– Any government employee involved in creating, maintaining,

and protecting records, or in preparing for emergencies

• Training focuses on three functional areas:– Emergency management– Records management– Information technology

Previously, in the Essential Records Course

Slide 1-10

Essential records are those records that:

• Are necessary for emergency response

• Are necessary to resume or continue operations

• Protect the health, safety, property, and rights of residents

• Would require massive resources to reconstruct

• Document the history of communities and families

Typically, less than 5% of an agency’s records are essential.

Previously, in the Essential Records Course (cont’d.)

The Essential Records Template

Slide 1-11

Essential Record

Format(s) of Record

Access Priority Level

(See key)

Access Timeframe

Location of Original (include computer name & path for

electronic records)

Accessible at

Alternative Facility?

Backed Up at Third Location

Maintenance Frequency

Prevention/ Mitigation Strategies

EXAMPLE:

Delegation of Authority

Hardcopy and .pdf file

Priority 1 Immediately, within 0–12 hours of the event

Deputy Administrator’s Office, Washington Grove facility. GBaxter on ‘gandalf\userdirs$\My_Documents\Disaster\DofA’

Records storage facility

Office of the Administrator, Springfield Facility, 2nd floor, Office 213b, top drawer of file cabinet next to secretary’s desk

Bi-weekly Backup tapes of Gandalf server

Slide 1-12

Why Are We Here?• Agencies must plan for protecting and recovering

their records should an emergency occur.

Photo courtesy of FEMA/George Armstrong—Biloxi, Mississippi

Slide 1-13

Why Are We Here? (cont’d.)

• The best offense is a good defense.

Course Organization

Slide 1-14

Slide 1-15

Course Agenda

• Session 1– Course Introduction– Records Emergency Planning

and Response Pre-Test– Module 1—Preparing a

Records Emergency Action Plan

• Session 2– Module 1—Preparing a

Records Emergency Action Plan (cont’d.)

• Session 3– Module 2—Records

Emergency Response and Recovery

• Session 4– Module 2—Records

Emergency Response and Recovery (cont’d.)

– Course Summary– Records Emergency Planning

and Response Post-Test

Course Objectives

By the end of this course, you will be able to:

• Develop, analyze, and test a Records Emergency Action Plan (REAP), which includes procedures for reducing risk (mitigation), preparedness, response, and recovery

• Assess a situation and then develop and implement a response for records affected by an emergency, using your REAP as a guide

Slide 1-16

Course Materials

• Participant Guides:– Session 1 Participant Guide– Session 2 Participant Guide– Session 3 Participant Guide– Session 4 Participant Guide

• Handouts:– Session 1 Handout– Session 2 Handouts– Session 3 Handouts– Session 4 Handout

Slide 1-17

• Course References

– Reference 01—Resource Center, References, Reading List

– Reference 02—Key Terms for the IPER Courses

– Reference 03—Participant Webinar Reference Guide

Records Emergency Planning and Response Webinar:

IPER Resource Center

www.statearchivists.org/resource-center

• The first place to look for information about records emergency planning and response

• Gives you access to the regulations, guidance, and other records information that applies to your state or territory

• Search and display by state and/or territory or by topic

• Available to everyone—not just IPER participants—and will remain available indefinitely

Slide 1-18

Getting to Know You

Slide 1-19

Records Emergency Planning and Response Pre-Test

Slide 1-20

Session 1 Overview• Module 1—Preparing a Records Emergency Action Plan

– Lesson 1: Overview of Emergency Planning and the REAP– Lesson 2: Planning for the REAP

Slide 1-21

Slide 1-22

Module 1—Preparing aRecords Emergency Action Plan

Introduction and Objectives

Module 1 Objectives

At the completion of this module, you will be able to:– Define key terms related to emergency management– Identify federal and state emergency management

initiatives, guidance, and systems relevant to protecting state and local government records

– Explain what a REAP is– Explain the benefits of developing a REAP– Identify members and assign responsibilities for the

teams described in a REAP– Write a REAP– Analyze and test a REAP

Slide 1-23

Lesson 1: Overview of Emergency Planning and the REAP

Module 1—Preparing aRecords Emergency Action Plan

Slide 1-24

Emergency Management Terms

• Incident

• Emergency

• Disaster

• Response

• Recovery

Slide 1-25

Photo courtesy of CoSA/Karl Niederer—Orleans Parish Criminal District Clerk of Court

Phases of Emergency Management

Slide 1-26

Federal Guidance on Emergency Preparedness and Response

• National Response Framework (NRF)

• National Incident Management System (NIMS)

• Incident Command System (ICS)

• National Continuity Policy

• Developing and Maintaining State, Territorial, Tribal, and Local Government Emergency Plans—Comprehensive Preparedness Guide 101 (CPG 101)

• FEMA Continuity Guidance for Non-Federal Entities

Slide 1-27

National Response Framework (NRF)

• All-discipline, all-hazards plan for the management of domestic incidents

• Tiered approach to handling emergencies

• Across federal government and state, local, and tribal government entities, the private sector, and nongovernmental agencies

Slide 1-28

National Response Framework (NRF) (cont’d.)

Slide 1-29

Local government—Responds first

Federal—Responds if state requests assistanceNRF—Activated

State—Responds if local government requests assistance

Incident occurs

National Incident Management System (NIMS)

• Provides a consistent framework for incident management at all jurisdictional levels, regardless of the cause, size, or complexity of the incident

Slide 1-30

Incident Command System (ICS)

• Is a standardized, on-scene, all-hazards incident management tool

• Offers an integrated structure to match demands of single or multiple incidents without hindering jurisdictional boundaries

• Represents organizational best practices

Slide 1-31

Incident Command System (ICS) (cont’d.)

• Goals:– Meet the needs of incidents of any kind or size– Allow personnel from a variety of agencies to meld rapidly into

a common management structure – Provide logistical and administrative support to

operational staff– Be cost-effective by preventing duplication of effort

Slide 1-32

Incident Command System (ICS) (cont’d.)

• ICS provides the flexibility and organizational structure for various levels of government to work together in a coordinated effort.

• ICS helps all responders communicate, and get what they need when they need it.

Slide 1-33

National Continuity Policy

Slide 1-34

NSPD-51 and HSPD-20make up the

National Continuity Policy

• Establishes “National Essential Functions” • Provides guidance for state, local, territorial, and tribal governments, and

private-sector organizations

Federal agencies:

FCDs 1 and 2

State, Local, and Tribal agencies:

CGC1

CPG 101

• Designed to help state, territorial, tribal, and local governments develop emergency operations plans

Slide 1-35

FEMA Continuity Guidance for Non-Federal Entities

• Continuity Guidance Circular 1 (CGC1)

• Continuity Assistance Tool (CAT)

Slide 1-36

Emergency Response—How it Works at the State and Local Levels

• Response always starts at the local level.

• Each state government has its own emergency response plan.

• Several levels of government may become involved.– NIMS ensures that all responders are operating and

communicating under the same protocols for incident management.

– ICS ensures a clear chain of command.– CGC1 and CAT ensure that operations will resume.

Slide 1-37

What is a Records Emergency Action Plan (REAP)?

• A REAP is a written, approved, implemented, and periodically tested plan that includes the information and actions needed to respond to and recover from a records emergency.

• All response and recovery players should participate in developing, approving, and testing the plan.

Slide 1-38

How Does the REAP Fit With Other Disaster Plans?

• The REAP is part of a larger disaster plan.

• It is not the disaster plan itself; it is only an element of the plan. – The portion of your disaster plan that includes records

Slide 1-39

Disaster Plan vs. REAP vs. COOP Plan

Slide 1-40

Benefits of a REAP

• Fast, appropriate, and effective response

• Rapid resumption of operations

• Increased appreciation of the importance of good records management practices

• Protected records = protected rights and government accountability

Slide 1-41

Module 1—Preparing aRecords Emergency Action Plan

Lesson 2: Planning for the REAP

Slide 1-42

Identify the Disaster Plans and People Relevant to Your State, Locality, and Agency

• Identify the disaster plans in place so your REAP can:– Tie into those plans most effectively– Address any records-specific shortcomings they may have

• Identify and meet your emergency planning personnel to inform them about your REAP planning project.

Slide 1-43

Determine Goals and Timetables

• A REAP should be treated like any other project.

• Address the stages of a REAP project when developing your goals and timetables.

• Consider developing an interim plan.

Slide 1-44

Assess the Fiscal Implications of Creating a REAP

• Expenses for…– Personnel– Equipment and supplies – Assistance from consultants – Testing the plan– Training personnel – Regular internal testing

Slide 1-45

Create Your REAP Teams

Slide 1-46

Assessment Team

Headed by: Assessment Coordinator

Response Team

Headed by:Response Coordinator

Action TeamHeaded by:

Records Response and Recovery Manager

Forming the Action Team

• Identify the members:– Select staff who are flexible and capable of performing well

under pressure. – Select employees at all levels. – Select employees who represent all functions.

• Assign responsibility.

• Select team leadership.

Slide 1-47

Session 1 Review and Wrap-Up

• The IPER Project

• Emergency management terms and the phases of emergency management

• Emergency federal guidance

• The REAP

• Preparation for developing a REAP

Slide 1-48

Activity

Develop Your REAP—First Steps

Slide 1-49

Materials for the ActivityHandout 1.1

Slide 1-50

Handout 1.1—Table 1:Developing a REAP—First Steps

Thank you!Thank you!